Professional Documents
Culture Documents
Conservation Law v. U.S. Dept of Commer, 360 F.3d 21, 1st Cir. (2004)
Conservation Law v. U.S. Dept of Commer, 360 F.3d 21, 1st Cir. (2004)
Conservation Law v. U.S. Dept of Commer, 360 F.3d 21, 1st Cir. (2004)
3d 21
Eric A. Bilsky with whom Sylvia F. Liu and Roger M. Fleming were on
brief for appellants.
Anna T. Katselas, Attorney, U.S. Department of Justice, Environment &
Natural Resources Division with whom Thomas L. Sansonetti, Assistant
Attorney General, Environment & Natural Resources Division, Jeffrey
Bossert Clark, Deputy Assistant Attorney General, Environment &
Natural Resources Division, Mauricia Baca, John Almeida, Todd S. Kim,
Attorneys, Environment & Natural Resources Division and Gene S.
Martin, Office of Regional Counsel, National Oceanic and Atmospheric
Administration (Of Counsel), were on brief, for appellees Donald L.
Evans, et al.
David E. Frulla with whom Shaun M. Gehan, Brand & Frulla, P.C., H.
Reed Witherby and Smith & Duggan, LLP, were on brief, for intervenor,
appellee Fisheries Survival Fund.
Before LIPEZ, Circuit Judge, CAMPBELL, Senior Circuit Judge, and
HOWARD, Circuit Judge.
HOWARD, Circuit Judge.
and the Administrative Procedure Act (the "APA"), 5 U.S.C. 553, 706.
Conservation Law Foundation ("CLF") and Oceana (f/k/a American Oceans
Campaign) allege that in implementing Framework Adjustment 14 to the
Atlantic Sea Scallop Fishery Management Plan ("Framework 14"), the National
Marine Fisheries Service ("NMFS") and other federal defendants1 failed to
meet their procedural and substantive obligations under governing law. The
district court found that Framework 14 was lawful. We affirm.
I. Factual and Procedural Background
2
On May 31, 2001, the plaintiffs initiated an action challenging Framework 14,
a rule that adjusted certain restrictions on sea scallop fishing in the Atlantic
coastal waters.2 The plaintiffs challenged Framework 14 on both substantive
and procedural grounds. First, they alleged that NMFS failed to meet its
substantive management obligations under the Magnuson-Stevens Act, 16
U.S.C. 1851(a)(9), 1853(a)(7) & (a)(11), and the APA.3 Second, they
claimed that NMFS's failure to provide a 15-day public comment period
violated the Magnuson-Stevens Act, 16 U.S.C. 1854(b), and the APA, 5
U.S.C. 553, 706(2)(D). The plaintiffs asked the district court to declare
Framework 14 in violation of the governing statutes and to "remand" it with the
requirement that NMFS remedy the alleged deficiencies. They also sought their
fees, costs, and expenses.
In September 2001, the parties submitted to the district court a joint proposal
for briefing and discovery. See Local Rule 16.1. In the proposal, the plaintiffs
requested that the court expedite the case pursuant to 16 U.S.C. 1855(f)(4).4
Over the next few months, the parties filed cross motions for summary
judgment.5 The district court heard argument on the motions in May 2002. By
September 2002, no decision had issued, and the plaintiffs renewed their
request to expedite the case, alerting the court to the fact that Framework 14
would expire by its own terms in March 2003.
On October 31, 2002, the district court denied the plaintiffs' motion for
summary judgment and granted the defendants' motions. See Conservation Law
Found. v. United States Dep't of Commerce, 229 F.Supp.2d 29 (D.Mass.2002).
The court found that the Magnuson-Stevens Act did not mandate public
comment for a rule such as Framework 14 and that the public comment period
required under the APA had been waived for good cause. See id. at 34 n. 10.
The court also concluded that NMFS had considered the substantive issues
raised by the plaintiffs and did not act arbitrarily and capriciously in
implementing Framework 14. See id. at 34. The plaintiffs appealed. On March
1, 2003, while this appeal was pending, Framework 14 was superseded by
Framework 15.6
II. Analysis
A. Mootness
5
We turn first to the question of mootness. See Roe v. Wade, 410 U.S. 113, 125,
93 S.Ct. 705, 35 L.Ed.2d 147 (1973) ("The usual rule in federal cases is that an
actual controversy must exist at stages of appellate or certiorari review, and not
simply at the date the action is initiated."). The defendants contend that the
expiration of Framework 14 rendered this case moot. See Gulf of Maine
Fishermen's Alliance v. Daley, 292 F.3d 84, 88 (1st Cir.2002). As the parties
invoking the mootness doctrine, the defendants bear a "heavy" burden in
attempting to establish its applicability. Mangual v. Rotger-Sabat, 317 F.3d 45,
61 (1st Cir.2003). And should they merely cease voluntarily the conduct
originally challenged, they must demonstrate that it is "absolutely clear that the
allegedly wrongful behavior could not reasonably be expected to recur." Id.
(citing United States v. Concentrated Phosphate Export Ass'n, Inc., 393 U.S.
199, 203, 89 S.Ct. 361, 21 L.Ed.2d 344 (1968)).
The defendants attempt to carry this burden with respect to both of the
plaintiffs' claims by citing to Gulf of Maine, a case in which we affirmed the
district court's finding of mootness where a challenged framework affecting
groundfish was superseded while cross motions for summary judgment were
pending. See 292 F.3d at 87. In that case, an organization of commercial
fishermen alleged that a framework was both procedurally deficient for lack of
adequate notice and comment and substantively unlawful because of its closure
of inshore fishing areas. See id. The appellant urged us to find that the alleged
harms continued, despite the promulgation of subsequent frameworks, and that
the issues therefore were not moot. See id. at 88. We rejected that argument,
concluding that the promulgation of a new framework in compliance with
procedural guidelines and based on new data rendered the challenges to the
superseded framework moot. See id.
CLF and Oceana respond with arguments similar to those made by the
appellant in Gulf of Maine. As to their substantive challenge to Framework 14,
they contend that the harms caused by NMFS's failure to close the four fishing
areas were perpetuated through Framework 15. This, they say, means that their
substantive claim remains live, and for support they rely heavily on
Northeastern Florida Chapter of the Associated General Contractors of
America v. City of Jacksonville, 508 U.S. 656, 113 S.Ct. 2297, 124 L.Ed.2d 586
(1993). There, a challenged ordinance that accorded preferential treatment to
minority businesses for city contracts was repealed and replaced with a
modified version weeks after the Supreme Court had granted certiorari. See id.
at 660-61, 113 S.Ct. 2297 (noting three alterations in ordinance, including
adoption of five- to sixteen-percent "participation goals" in place of ten percent
"set-aside" of city contracts earmarked for minority businesses). These
modifications were not enough to render the controversy moot. The Supreme
Court concluded that "[t]here is no mere risk that [the city] will repeat its
allegedly wrongful conduct; it has already done so." Id. at 662, 113 S.Ct. 2297.
The analogy to Northeastern Florida is useful here.
8
Rhodes, 396 U.S. 41, 43, 90 S.Ct. 206, 24 L.Ed.2d 209 (1969) (per curiam)
(finding that suit attacking requirement that nominating petitions be signed by
seven percent of voters on ground that no more than one percent could be
required was not mooted by new statute reducing signature requirement to four
percent); Keyishian v. Board of Regents of the University of the State of New
York, 385 U.S. 589, 596, 87 S.Ct. 675, 17 L.Ed.2d 629 (1967) (noting that
abandonment of requirement that employees disclaim membership in
Communist party did not render challenge to constitutionality of procedure
moot where underlying statutes and regulations remained). The plaintiffs'
challenge to the substance of Framework 14 is not moot.
10
As to their procedural challenge to Framework 14, CLF and Oceana begin their
response to NMFS's mootness arguments by acknowledging that Framework 15
was promulgated in a procedurally proper manner. Yet, the plaintiffs argue,
their challenge remains live because NMFS's conduct is "capable of repetition,
yet evading review." See Gulf of Maine, 292 F.3d at 88-89 (quoting Weinstein
v. Bradford, 423 U.S. 147, 149, 96 S.Ct. 347, 46 L.Ed.2d 350 (1975)). The
defendants again point to Gulf of Maine, in which we rejected the application of
this exception and found the issue moot. See id. at 89.
11
Although the parties present compelling arguments on both sides of the debate,
we find that a more straightforward resolution of the issue is readily available
on the facts of this case. NMFS has not shown, as it must, that the alleged
procedural deficiency will not recur. See Friends of the Earth, Inc. v. Laidlaw
Envtl. Servs., 528 U.S. 167, 189, 120 S.Ct. 693, 145 L.Ed.2d 610 (2000)
(requiring, in cases involving voluntary cessation of challenged conduct, that
party claiming mootness satisfy heavy burden of demonstrating that allegedly
wrongful behavior could not reasonably be expected to recur). To the contrary,
NMFS maintains that the Magnuson-Stevens Act does not require notice and
comment for framework adjustments. Likewise, NMFS argues that its routine
waivers of notice and comment under the APA have been wholly proper.8 The
fact that NMFS voluntarily provided a public notice period in promulgating
Framework 15 therefore does not suggest a change of heart as to whether the
process was legally required. Rather, as NMFS's counsel acknowledged at oral
argument, the public notice period preceding the enactment of Framework 15
was provided "out of an abundance of caution" in light of this appeal. Under
these circumstances, NMFS's voluntary cessation of the challenged conduct
does not render the challenge moot. See Adams v. Bowater, Inc., 313 F.3d 611,
613-15 (1st Cir.2002) (issue not moot where a recurrence of the challenged
conduct is highly likely).
B. Merits
12
Concluding as we do that the issues before the district court continue to present
a live controversy on appeal, we turn to the merits of the case. The district
court's entry of summary judgment is subject to de novo review. See Associated
Fisheries, 127 F.3d at 109. In the administrative law context, however, this
review is limited, even at the summary judgment stage. See id. This is because
the Magnuson-Stevens Act adopts the APA standard of review, which permits
a court to upset an agency action only if it is arbitrary, capricious, or otherwise
contrary to law. See id. (citing 5 U.S.C. 706(2)(A)-(D)). Therefore, our task is
to determine whether the action "was consonant with [the agency's] statutory
powers, reasoned, and supported by substantial evidence in the record." Id.
1. Substantive challenge
13
14
Under the Magnuson-Stevens Act, NMFS has a duty to minimize to the extent
practicable (1) adverse effects on essential fish habitat ("EFH"),9 16 U.S.C.
1853(a)(7); and (2) bycatch (fish that are caught but not sold or kept for
personal use) and bycatch mortality, 16 U.S.C. 1851(a)(9), 1853(a)(11). The
plaintiffs argue that NMFS violated these statutory obligations in rejecting the
closure of the four fishing areas. As they see it, NMFS's decision was
irreconcilable with record evidence that the closures would be beneficial with
respect to EFH and bycatch. The plaintiffs also fault NMFS's analysis, claiming
that the agency ignored relevant factors they should have considered and failed
to articulate a rational basis for declining to implement the closures.
15
These arguments are flawed to the extent that they consider the closure
alternative in isolation, discounting numerous other restrictions on scallop
fishing imposed by Framework 14. See CLF, 229 F.Supp.2d at 34 (noting that
Framework 14 maintained closures of three large scallop fishing areas, as well
as "restrictions on days at sea, catch and mesh sizes, and seasonal access to
sensitive areas"). Moreover, the plaintiffs essentially call for an interpretation
of the statute that equates "practicability" with "possibility," requiring NMFS to
implement virtually any measure that addresses EFH and bycatch concerns so
long as it is feasible. Although the distinction between the two may sometimes
be fine, there is indeed a distinction. The closer one gets to the plaintiffs'
interpretation, the less weighing and balancing is permitted. We think by using
the term "practicable" Congress intended rather to allow for the application of
agency expertise and discretion in determining how best to manage fishery
resources.
16
The plaintiffs argue that NMFS's failure to provide a public comment period in
developing Framework 14 violated the Magnuson-Stevens Act, 16 U.S.C.
1854(b)(1)(A). Section 1854(b) requires notice and comment for regulations
prepared under 16 U.S.C. 1853(c), namely regulations that are deemed
necessary to "implementing a fishery management plan or fishery management
plan amendment," or to modifying such regulations. See 16 U.S.C. 1853(c).
The district court distinguished 1853(c) "regulations" from framework
adjustments, looking to neighboring 1855(f) for interpretive guidance. See
CLF, 229 F.Supp.2d at 33. There, Congress drew a distinction between
"regulations promulgated by the Secretary" and "actions that are taken by the
Secretary under regulations which implement a fishery management plan." See
16 U.S.C. 1855(f)(2).
19
b. The APA
20
21
In the alternative, the plaintiffs allege procedural harm under the APA because
NMFS failed to demonstrate "good cause" for waiving notice and comment.
See 5 U.S.C. 553(b)(3)(B). They characterize Framework 14's statement of
the grounds for waiver as mere "boilerplate."11 See n. 8, above; Natural Res.
Def. Council, Inc. v. Evans, 316 F.3d 904, 912 (9th Cir.2003). Even if we were
to agree with the plaintiffs on this point, however, any error on NMFS's part
was harmless. See Riverbend Farms, Inc. v. Madigan, 958 F.2d 1479, 1487 (9th
Cir. 1992) ("The APA requires that we take `due account' of the harmless error
rule."); see also Save Our Heritage, Inc. v. FAA, 269 F.3d 49, 61 (1st Cir.2001)
("The doctrine of harmless error is as much a part of judicial review of
administrative action as of appellate review of trial court judgments"). We
reach such a conclusion because, based on this record, the omission of a formal
public comment period "clearly had no bearing on the procedure used or the
substance of [the] decision reached." Riverbend Farms, 958 F.2d at 1487
(quoting Sagebrush Rebellion, Inc. v. Hodel, 790 F.2d 760, 764-65 (9th
Cir.1986)); see also Little Bay Lobster Co., Inc. v. Evans, 352 F.3d 462, 468
(1st Cir.2003).
22
and that, had formal notice and comment occurred, NMFS might have decided
to explore their suggested alternatives further.14 CLF/Oceana Br. at 44 ("Had
NMFS taken public comment, NMFS might have overruled the council and
adopted more protective measures."). The administrative record does not bear
this out, however. For example, two March 2001 decision memoranda from
NMFS's Regional Administrator to NOAA's Acting Assistant Administrator for
Fisheries analyze the concerns raised by the plaintiffs. These analyses occurred
before Framework 14 was finalized. The plaintiffs disregard the significance of
this agency-level consideration of their concerns, choosing to emphasize the
ways that the Council may have slighted them procedurally.15 Further, the
plaintiffs fail to identify any comment that they were prevented from making
because of this alleged procedural defect that would have made a difference in
the result. See Little Bay Lobster, 352 F.3d at 468. The plaintiffs have
demonstrated that some of their suggestions were rejected, but not that they
were ignored. In this context, the difference is important. We find no prejudice.
III. Conclusion
23
For the foregoing reasons the judgment of the district court is AFFIRMED.
Notes:
1
The plaintiffs also sued Donald Evans, in his official capacity as Secretary of
the United States Department of Commerce, and the National Oceanic and
Atmospheric Administration ("NOAA"). The Secretary of Commerce is the
chief officer charged with managing the marine fisheries of the United States.
NOAA is an agency within the Department of Commerce, and NMFS is a part
of NOAA. Except where otherwise indicated, the federal defendants are
referred to collectively as "NMFS."
The plaintiffs also alleged violations of the National Environmental Policy Act
of 1969 ("NEPA"), 42 U.S.C. 4321-4347. The district court rejected these
claims, and the plaintiffs have not pursued them on appeal
Section 1855(f)(4) provides: "Upon a motion by the person who files a petition
under this subsection, the appropriate court shall assign the matter for hearing
at the earliest possible date and shall expedite the matter in every possible
way."
68
NMFS has waived notice and comment for "good cause" in promulgating all
but two of the first fourteen framework adjustmentsSee 66 Fed.Reg. 24,052,
24,055 (May 11, 2001) (Framework 14); 65 Fed.Reg. 37,903, 37,909-10 (June
19, 2000) (Framework 13); 65 Fed.Reg. 11,478, 11,479 (Mar. 3, 2000)
(Framework 12); 64 Fed.Reg. 31,144, 31,148 (June 10, 1999) (Framework 11);
63 Fed.Reg. 45,939, 45,940 (Aug. 28, 1998) (Framework 10); 62 Fed.Reg.
43,469, 43,470 (Aug. 14, 1997) (Framework 9); 61 Fed.Reg. 38,404, 38,405
(July 24, 1996) (Framework 8); 61 Fed.Reg. 8490, 8491-92 (Mar. 5, 1996)
(Framework 7); 60 Fed.Reg. 35,513, 35,514 (July 10, 1995) (Framework 6); 60
Fed.Reg. 33,757, 33,758 (June 29, 1995) (Framework 5); 59 Fed.Reg. 59,967,
59,968 (Nov. 21, 1994) (Framework 2); 59 Fed.Reg. 36,720, 36,722 (July 19,
1994) (Framework 1). The framework adjustment procedure, as set forth in
EFH refers to "those waters and substrate necessary to fish for spawning,
breeding, feeding or growth to maturity." 16 U.S.C. 1802(10)
10
Because we find that the statute distinguishes between regulations and actions,
and the framework adjustment process easily fits into the latter category, we
look no further. We are not persuaded that, as the plaintiffs contend, the
legislative history of 1853(c) suggests an intent that framework adjustments
undergo public commentSee CLF/Oceana Br. at 38-39 (citing S.Rep. No. 194276, at 18-19 (1996), reprinted in 1996 U.S.C.C.A.N. 4073, 4091).
11
66
Fed.Reg. 24,052, 24,055 (May 11, 2001). Waivers in eleven prior frameworks
used similar, though not identical, languageSee n. 8, above.
12
See Notice of Availability of Draft EIS for Framework 14, 65 Fed.Reg. 77,025,
77,026 (Dec. 8, 2000) (accepting comments until Jan. 24, 2001); Notice of
Intent to prepare a Supplemental Environmental Impact Statement; request for
comments, 65 Fed.Reg. 60,396, 60397 (Oct. 11, 2000) (accepting comments
until November 13, 2000).
13
See J.A. at 178-186 (Nov. 13, 2000 letter from Oceana representative); 189-192
(participation of CLF and Oceana representatives at November 14, 2000
Council meeting); 217-222 (Jan. 22, 2001 letter from Oceana representative);
443-49 (Jan. 23, 2001 letter from CLF and Oceana representatives); 268
(participation of Oceana representative at Jan. 25, 2001 Council meeting).
14
The plaintiffs also rely heavily onNatural Resources Defense Council, Inc., 316
F.3d at 912, in which the Ninth Circuit found that NMFS made an insufficient
showing of good cause to waive the APA public comment period. In that case,
however, neither party briefed the issue of harmless error. See id. at 912 n. 10.
The court interpreted this silence as an admission by NMFS that some prejudice
resulted. See id. NMFS has not made a comparable admission here.
15
The plaintiffs alleged that, because public comment periods closed the day
before Council meetings, the Council was not giving due consideration to their
concerns